ComplianceServe Updates for May 2017: What’s New?

We are pleased to confirm that the pathways below have been reviewed and updated where required. The main changes are summarised below together with the date when the updated pathways were published.

With Three Lines of Defence and The Basics of CASS, the pathway structure has been changed, so if these have already been assigned to learners you will need to use the “Publish Changes” feature in Content Manager to make the new pathway available. This is only necessary for learners who have these pathways in their learning plans and where the status is “not attempted” or “incomplete”.

For all other pathways, the updates will automatically overwrite the existing versions so learners will automatically see the latest content without intervention.

Introduction to the Financial Conduct Authority (FCA)

Amended the list of regulated activities to reflect that secured loans now fall under mortgage regulation, including first and second charges

Pension Wise added to the Regulatory Family module and a new section included

Amended to explain that MAS and FOS levies are funded by regulated firms

Wording changed to make it clear when the complainant may refer to FOS

Added the term Firm Systemic Framework under FCA supervision

Additional questions on Pension Wise, SMR and CR added to the question bank

Last reviewed 19/03/2017

Introduction to the Prudential Regulation Authority (PRA)

No changes required to the content

Seven new questions added to the question bank

Last reviewed 07/03/2017

Three Lines of Defence

No changes required to the content

Six new questions added to the question bank

Last reviewed 19/05/2017

Senior Management Arrangements, Systems and Controls

Amended reference to common platform firms

Changes to the section on Whistleblowing to reflect the Sep 16 changes in regulation